DFX Intelligence
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Registered advisor
A•••••• N••••
Feed of 09/14/2026
At current firm
3 y
since Jul 21, 2023
In the industry
12 y
since Aug 25, 2014 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Jul 21, 2023 · Mc Lean, Va
- W•••• F•••• A••••••• wirehouseOct 9, 2015 to Jul 20, 2023 · Mclean, Va
- M••••• S•••••• wirehouseAug 25, 2014 to Oct 14, 2015 · Ithaca, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jul 20, 2023, registered Jul 21, 2023 (1 days) · Other
- M••••• S•••••• to W•••• F•••• A•••••••left Oct 14, 2015, registered Oct 9, 2015 (-5 days) · Wirehouse to wirehouse
Signals
- ••• LockedJul 20, 2023 · Advisor changed firm · fact
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- No RAUM reportedderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address